Ethics & Responsibility

Professionally serving our clients

We are strongly committed to complying with regulatory requirements and upholding ethical business practices. Our suitability review process is designed to identify and discourage the inappropriate sale of our products. We review all new applications and consistently monitor pre/post issue activity to ensure compliance with suitability standards, state regulations and company policy.


I'm looking for quick answers to annuity suitability questions that may be easy to find.

Model Reg #275

Learn more about this best interest standard for annuity recommendations and its disclosure obligations.
Read the FAQ

Non-resident sales

How do you evaluate non resident sales?

Model Law

Understand the requirements imposed by the NAIC model law on suitability for all annuity transactions.

Suitability Policy

Learn the official company position on suitability.

Replacement Policy

Read how we evaluate the replacement of life insurance and annuity contracts.

Instant Decision

Receive an upfront answer as to whether your client's annuity app will meet Nassau's suitability standards.

Helpful Tips

Avoid common mistakes when submitting business for review.


DOL Fiduciary Rule

Access information about Prohibited Transaction Exemptions (PTEs)


Learn more by reviewing the full Nassau Compliance Guide.